Nobody Puts Compliance in a Corner

In this episode, former Chief Compliance Officer and CSS’s Senior Consultant Dan Haynes joins Natalie Silverman to discuss how a CCO can earn a seat at the executive table and ways compliance teams can partner with the business to win trust.

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About Our Moderator:

Natalie Silverman serves as CSS’s Chief Marketing Officer. A leading FinTech specialist, Natalie has over 17 years of go-to-market and strategic expertise in financial services, SaaS, media and news. Most recently she has helped to build innovation labs across startups and enterprises.

About Our Guest Speaker:

Dan Haynes joined CSS in 2017 as a consultant providing consulting services to investment advisers, registered investment companies and private investment funds. Prior to joining CSS, Dan was the Chief Compliance Officer for Summit Strategies Group. Summit is a large institutional pension consultant in the Midwest with multiple private funds – ultimately around $180 billion in assets under administration. Dan implemented several aspects of, and oversaw the entire compliance program. His time there resulted in experience in NFA/CFTC registration and regulation, Private Fund oversight, and the pension consulting world overall.

Prior to Summit, Dan was the Chief Compliance Officer for Buckingham Asset Management and BAM Advisor Services. During his extensive time there, Dan oversaw not just all aspects of their compliance programs, but also provided guidance and education to over 150 RIAs across the country. Most of Dan’s time was spent overseeing acquisitions (and subsequent expansion of remote offices), implementing rules under the Dodd-Frank Act, and guiding his firms and others through examinations. Dan is also a member of the Charles Schwab Compliance Advisory Board.